Initial Statement of Beneficial Ownership (3)
16 Febbraio 2023 - 10:38PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Gold Gerri |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/6/2023
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3. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co [HPE]
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(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 1701 E. MOSSY OAKS ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP, Pres & CEO Financial Serv / |
(Street)
SPRING, TX 77389
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 50584 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (2) | (2) | Common Stock | 11423.4784 | (1) | D | |
Restricted Stock Units | (3) | (3) | Common Stock | 20469.2997 | (1) | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 108211.6693 | (1) | D | |
Employee Stock Option (right to buy) (5) | 12/9/2016 (6) | 12/9/2023 (7) | Common Stock | 14166 | $8.83 | D | |
Employee Stock Option (right to buy) (5) | 12/7/2017 (6) | 12/7/2024 (7) | Common Stock | 13399 | $14.67 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(2) | On 12/10/20, the reporting person was granted 33,003 restricted stock units ("RSUs"), 11,001 of which vested on 12/10/21, 10,621 of which vested on 12/10/22, and 10,621 of which will vest on 12/10/23. The vesting amounts and number of derivative securities reflect the reporting person's early retirement eligibility and early withholding of 760 RSUs for payment of FICA taxes on 12/15/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of units reported in Column 3 includes 802.4784 dividend equivalent rights accrued but not released since the grant date. |
(3) | On 12/09/21, the reporting person was granted 30,884 RSUs, 11,240 of which vested on 12/09/22, and 9,822 of which will vest on each of 12/09/23 and 12/09/24. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The vesting amounts and number of derivative securities reflect the reporting person's early retirement eligibility and early withholding of 946 RSUs for payment of FICA taxes on 12/15/22. The number of units reported in Column 3 includes 825.2997 dividend equivalent rights accrued but not released since the grant date. |
(4) | On 12/08/22, the reporting person was granted 107,428 RSUs, 35,809 of which will vest on each of 12/08/23 and 12/08/24, and 35,810 of which will vest on 12/08/25. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of units reported in Column 3 includes 783.6693 dividend equivalent rights accrued but not released since the grant date. |
(5) | As reported in the Registration Statements on Form 10 filed by Issuer with the SEC, in connection with the spin-offs of Everett SpinCo, Inc. on 04/01/17 and Seattle SpinCo, Inc. on 09/01/17, equity-based awards granted by Issuer, prior to the spin-offs were converted to adjust the award in a manner intended to preserve the aggregate intrinsic value of the original award as measured immediately before and immediately after the spin-offs, subject to rounding. The adjusted equity award is otherwise subject to the same terms and conditions that applied to the original award immediately prior to the spin-offs, unless otherwise noted. The reporting person's equity-based awards reflect the conversion adjustments. |
(6) | This option became exercisable beginning on this date and is fully vested. |
(7) | This option is no longer exercisable beginning on this date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gold Gerri C/O HEWLETT PACKARD ENTERPRISE COMPANY 1701 E. MOSSY OAKS ROAD SPRING, TX 77389 |
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| EVP, Pres & CEO Financial Serv |
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Signatures
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Ki Hoon Kim as Attorney-in-Fact for Gerri A Gold | | 2/16/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Grafico Azioni Hewlett Packard Enterprise (NYSE:HPE)
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Da Mar 2024 a Apr 2024
Grafico Azioni Hewlett Packard Enterprise (NYSE:HPE)
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Da Apr 2023 a Apr 2024